Eric Caouette
Professional Summary
Eric Caouette was a registered financial advisor. Eric was a previously registered financial professional and started their career in finance 2003 - 2021. Eric had worked at 1 firm and has passed the Series 63, SIE, Series 37 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
DUBEAU CAPITAL USA INC. | DUBEAU CAPITAL USA, INC.
Contact Information
Main Address
5700 Boulevard Des Galeries Suite 440, Quebec City, Quebec, G2K 0H5Phone Number
(418) 628-5533Firm Type
CorporationFiscal Year End
September# of Employees
6Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
11AUM (Assets Under Management)
$47,887,720Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
DUBEAU CAPITAL USA INC. | DUBEAU CAPITAL USA, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed Sep 2002Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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